United States Senate Judiciary Subcommittee on Technology,
Terrorism, and Government Information

October 12, 2001

IntroductionWith the growth of the global economy, the demand placed on the
United States borders and its systems for managing permanent and temporary immigration
is unprecedented. The Immigration and Naturalization Services (INS) conducted
over 500 million inspections last year at nearly 300 land, air, and sea ports
of entry. In approximately the same time period, the U.S. Department of State
issued about 7 million U.S. Passports, over 6 million nonimmigrant visas, and
close to 500,000 immigrant visas. It is clear that with these demands placed
on the Nations borders, a more robust, secure and consistent form of border
access is required.

Most countries, including the United States use traditional paper-based documents
for passports and visas. Because of the passport and visas functionality and
purpose, it is an important and trusted identification document that nations
around the globe rely on. However, inherent to the design of the paper-based
document system, it can easily be forged using advanced computer imaging and
printing technologies. Ultimately, the confirmation of a person's identity in
many situations relies on the information presented at the time of border crossing
and the professional opinion of the border agent. A requirement of any secure
border system is the ability to replicate the security screening process at
every port-of-entry in a systematic and consistent manner, and since it ultimately
will rely on human intervention, provide the appropriate technology to support
the agent's efforts in trusting the document provided. Not surprisingly, national
governments across the globe continue to search for a more secure method of
providing passports and visa to avoid the security threats of a breached border.

This paper highlights two programs that would benefit significantly from the
introduction of biometrics by providing an added level of security to the issuance
of passports and visas, as well as provide the added benefit of an entry-exit
tracking system for visa holders. The system would interface with the existing
passport and visa process and thereby take advantage of the existing infrastructure.
Also discussed is a border control system that would verify each person at a
port-of-entry against a database of known our suspected terrorist or criminals
that would be compiled of data from CIA, INS, FBI, DOD, Interpol and other cooperating
agencies as specified.

Biometrics Enabled PassportsUltimately, the traditional paper-based document
passports and visas will be replaced by smart card technology which will contain
personal information, passport and visa information, and the digital biometric
data of the card holder. However, since substantial dollars have already been
invested in the current passport infrastructure, a phased approach that leverages
the initial investment, but adds significant security improvement to the passport
system by reducing the ability to tamper with the passport authentication process
is described below:
.
1. When issuing or renewing a passport, an applicant would follow the established
requirements for providing documentation, the appropriate identity information,
passport photograph, and descriptive information. The applicant would also be
required to capture a biometric sample in the form of a fingerprint that would
be linked to the passport transaction number and ultimately become part of the
passport authentication system linked to their passport.

2. The passport collection centers (Post Office, etc.) would process and transmit
the biometric sample electronically to a main processing database where it would
be compared against existing fingerprints of known or suspected terrorists or
criminals prior to issuing or renewing the passport. If a match were not found,
then the applicant would be granted a new passport or renewal. If a match were
found, the proper authorities would be notified for enforcement action. It is
estimated that the database would contain less than 500,000 fingerprints of
known or suspected terrorists or criminals and be compiled from data from CIA,
INS, FBI, DOD, Interpol, and other cooperating agencies.

3. The biometric information would ultimately be stored in a central database
(or distributed database depending on design requirements, i.e. identical databases
can be stored in additional locations to speed the system's response) for passport
authentication and would be accessed at any port-of-entry, consulate office,
or other location that requires authentication of an individual's passport.

4. To utilize the biometric capability, once a passport was scanned through
a machine-reader, the passport holder would be requested to scan their finger
and a query would be made on the central server database to verify that the
person presenting the passport is the same person registered to that passport.
If a match were confirmed, the individual would be allowed to proceed through
the port-of-entry. If a match could not be confirmed, then further investigation
of the passport credentials would need to be conducted.

By utilizing the existing passport, its information, and the passport infrastructure,
the passport authentication system could easily be implemented today with little
disruption and retooling of the existing infrastructure. In addition, smart
card technology could be issued to augment the existing passport and eventually
even replace the paper-based system without having to rebuild the entire authentication
system. Both a smart card approach and the current passport systems could be
implemented in parallel until the smart card infrastructure was fully developed.

An additional benefit of this system is that any country that has passports
that utilize the machine-readable passport number, could participate in the
authentication system. For the approximately 30 countries that currently participate
in the Visa Waiver Pilot Program, a "fast-track" immigration process
could be enabled at ports-of-entry to allow holders of machine-readable passports
who have pre-registered their biometric sample with INS to pass through the
immigration process rapidly. Essentially, their passport credentials will be
authenticated by their fingerprint, which has already been "pre-qualified"
by INS. This approach would allow INS to focus their time and resources on those
individuals that have not been "pre- qualified", and that may require
additional time to properly verify their credentials.

Part of the pre-qualification phase would be to match their fingerprint sample
to the database of know or suspected terrorists or criminals. If there is not
a match, then their biometric account would be enabled and they would have the
privilege of using a fast track system with their biometrics. Each time a new
fingerprint of known or suspected terrorists or criminals is added to the matching
database, that specific fingerprint would be searched against the database of
pre-approved passport and visa holders to ensure that there is not a match against
the pre-approved database. If a match is found, that biometric account could
be disabled and the appropriate enforcement personnel would be notified. Additional
information could also be collected for statistical purposes.

Biometrics Enabled Port-of-Entry SystemWith the volume of people crossing the
U.S. border annually, providing for a secure border is paramount to our national
security. However, immigration officials are often faced with dealing with competing
demands; process the flow of people fast, with minimal interference, but also
with accuracy and diligence to ensure that no one is admitted that should not
be admitted. While this is a heavy burden to carry, it has never been so important
and vital to our country as it is today. INS and other federal agencies have
deployed several initiatives to help control and process the influx of people
entering the U.S., in many cases without the benefit of coordination. One way
to ensure that the port-of-entry is secure from individuals that should not
be admitted is through the use of biometrics.

Currently, several databases of fingerprint data exist in different systems
that do not necessarily coordinate or share important information that could
help secure our borders. The goal of the biometrics enabled port-of-entry system
would be to create a database of known or suspected terrorists or criminals
from fingerprint information contained in INS, FBI, DOD, CIA, Interpol and potentially
other agencies systems, that could be used to match against people at the port-of
entry. The systems would require that an individual capture their finger on
a scanning device as they pass through the port-of-entry for land, sea, and
air locations. This system would be required for all entry into the U.S., unless
the individual is already utilizing a biometrics enabled passport or visa.

At the port-of-entry location, a person would be required to scan their finger
to capture a fingerprint image that ultimately would be compared to the database
of known or suspected terrorist or criminals. The port-of-entry system would
be designed to provide responses within second of receiving the scanned fingerprint.
The output result from the matching process could be configured in several ways
depending on the intended use. For walk-up situations, the system could be designed
to activate turnstiles, gates, green or red lights, display based information,
printed material, or voice-activated commands. For capturing fingerprints from
cars, trucks, or other transportation means, portable wireless scanners would
be employed that could capture from one to multiple images for processing. The
output result from the scanning device could include green or red lights, displayed
information, or printed material.

If a match were not found for a persons fingerprint in the port-of-entry systems,
then they would be allowed to proceed through customs as currently structured.
If a match were found, the border agent would be notified for proper actions.
The port-of-entry system would be very beneficial on the port-of-entry for countries
that participate in the Visa Waiver Pilot Program. At a minimum, the system
would be able to confirm that somebody in the database of known or suspected
terrorist or criminals would not be able to make entry into the U.S., even if
they provided fraudulent documents.

The system would be setup on a distributed basis to ensure redundancy capabilities
and high speed processing. The central system would provide updates and housekeeping
chores for each port-of-entry system to ensure accuracy and security.

Biometrics Enabled VisasThe visa process would be very similar to the process
described for passports. An applicant would be required to provide the appropriate
information to the consulate office to process the visa as is currently required,
however they will also be required to provide a biometric sample, such as a
fingerprint at the time of their application. The fingerprint would be linked
to the visa and passport record information. This process would require all
visa applicants to make their application in person, which is currently not
a requirement.

The consulate office would transmit the biometric sample electronically to
a U.S. based main database where it could be compared against existing fingerprints
of know or suspected terrorists or criminals prior to issuing or renewing the
visa. If a match were not found, then the applicant would be granted a new visa
or renewal. If a match were found, the proper authorities would be notified
for enforcement action. It is estimated that the database would contain less
than 500,000 fingerprints of known or suspected terrorists or criminals and
be compiled from data from CIA, INS, FBI, DOD, Interpol, and other cooperating
agencies, including local authorities.

The biometric information would ultimately be stored in a central database
(or distributed database depending on design requirements) for passport authentication
and would be accessed at any port-of-entry, consulate office, or other location
that requires authentication of an individual's visa, including a web link for
colleges, universities, and various schools to confirm visa participant's enrollment.

To utilize the biometric capability, once a visa was scanned through a machine-reader,
the passport holder would be requested to scan their finger and a query would
be made on the central server database to verify that that the person presenting
the passport is the same person registered to that visa. If a match were confirmed,
the individual would be allowed to proceed through the port-of-entry. If a match
could not be confirmed, then further investigation of the passport credentials
would need to be conducted.

By utilizing the existing visa, its information, and the passport and visa
infrastructure, the visa authentication system could easily be implemented today
with little disruption and retooling of the existing infrastructure. In addition,
smart card technology could be issued to augment the existing passport and visa
and eventually even replace the paper-based system without having to rebuild
the entire authentication system. Both a smart card approach and the current
passport and visa systems could be implemented in parallel until the smart card
infrastructure was fully developed.

Part of the pre-qualification phase would be to match the visa applicants fingerprint
sample to the database of know or suspected terrorists or criminals. If there
is not a match, then their biometric account would be enabled and they would
have the privilege of using a fast track visa system with their biometrics.
Each time a new fingerprint of a know or suspected terrorists or criminals is
added to the matching database, that specific fingerprint would be searched
against the database of pre-approved passport and visa holders to ensure that
there is not a match against the pre-approved database. If a match is found,
that biometric account could be disabled and the appropriate enforcement personnel
would be notified.

The fingerprint database would be linked to and entry and exit system that
would record all visa applicant's entry into the U.S. border and would also
be used to confirm their exit from the U.S. border. This system could either
augment or replace the current I-94 form. One of the deficiencies of the I-94
form is that often times it is inconsistently collected by airlines and other
transportation carriers. The biometrics enabled entry-exit system would be automatically
updated with entry and exit information on a real time basis. The systems would
be able to deactivate the biometric account for certain visa types once they
have been scanned at the entry point, thus ensuring that the visa holder would
not be able to reenter the U.S. border without obtain the proper visa or visa
renewal. Enforcement personnel could easily receive reports on all expired visas
with no exit data for their action. Additional information could also be collected
for statistical purposes.

Biometrics BackgroundSince biometrics identifies people by unique human characteristics,
such as a fingerprint, or facial recognition, it is considered highly reliable,
accurate and secure. Most biometric technologies, like fingerprints, are beyond
the "proof-of-concept" stage and are currently being implemented throughout
the world to secure identity documents like passports, and national identification
programs.

In recent years, the price of biometric technology and its infrastructure (processors,
imaging electronics, and software) has dropped dramatically while the accuracy
of biometrics technology has increased. Some biometrics technology, like have
proven to be extremely reliable and accurate by law enforcement use for the
last 30 years with large-scale fingerprint applications. Many state and federal
agencies are expanding the use of biometrics technology into applications aimed
at entitlement fraud, driver licenses and state identification, and applicant
processing.

About NEC Technologies' AFIS Division

NEC Technologies' AFIS Division is recognized as an industry leader in biometrics
technologies having developed some of the first and finest automated methods
of identifying people by their fingerprint and palmprint characteristics. NEC
Technologies AFIS Division provides identification solutions for law enforcement,
government, and commercial applications requiring network security. Headquartered
in Gold River, California, NEC Technologies, Inc., a wholly owned subsidiary
of NEC Corporation is a leading manufacturer of computer peripherals and other
technology products for the North American market.